BROADWOOD CAPITAL, INC

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Type
Submitted
Adviser BROADWOOD CAPITAL INC Type 13F-HR Submitted
05/15/2025
Stock Ticker Stock Name $ Position % Position $ Change # Shares # Change
Stock Ticker61174X109 Stock NameMONSTER BEVERAGE CORP NEW $ Position$485.5 b % Position39.00 % $ Change11.00 % # Shares8,295,690 # Change0.00 %
Stock Ticker05464C101 Stock NameAXON ENTERPRISE INC $ Position$366.1 b % Position30.00 % $ Change-15.00 % # Shares696,075 # Change-4.00 %
Stock Ticker852312305 Stock NameSTAAR SURGICAL CO $ Position$219.6 b % Position18.00 % $ Change-17.00 % # Shares12,455,264 # Change15.00 %
Stock Ticker464287655 Stock NameISHARES TR $ Position$94.7 b % Position8.00 % $ Change-18.00 % # Shares474,920 # Change-9.00 %
Stock Ticker68235C206 Stock NameONCOCYTE CORP $ Position$34.9 b % Position3.00 % $ Change135.00 % # Shares11,410,100 # Change83.00 %
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
04/10/2025

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date04/08/2025 Shares166,527 Price$15.28 Shared Following13,498,791 OwshD
TitleCommon Stock Transaction Date04/08/2025 Shares0 Price$0.00 Shared Following13,498,791 OwshI
TitleCommon Stock Transaction Date04/08/2025 Shares11,600 Price$15.95 Shared Following13,510,391 OwshD
TitleCommon Stock Transaction Date04/08/2025 Shares0 Price$0.00 Shared Following13,510,391 OwshI
TitleCommon Stock Transaction Date04/09/2025 Shares8,200 Price$15.08 Shared Following13,518,591 OwshD
TitleCommon Stock Transaction Date04/09/2025 Shares0 Price$0.00 Shared Following13,518,591 OwshI
TitleCommon Stock Transaction Date04/10/2025 Shares900 Price$15.18 Shared Following13,519,491 OwshD
TitleCommon Stock Transaction Date04/10/2025 Shares0 Price$0.00 Shared Following13,519,491 OwshI
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
04/07/2025

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date04/03/2025 Shares209,535 Price$16.97 Shared Following12,696,579 OwshD
TitleCommon Stock Transaction Date04/03/2025 Shares0 Price$0.00 Shared Following12,696,579 OwshI
TitleCommon Stock Transaction Date04/04/2025 Shares492,631 Price$15.90 Shared Following13,189,210 OwshD
TitleCommon Stock Transaction Date04/04/2025 Shares0 Price$0.00 Shared Following13,189,210 OwshI
TitleCommon Stock Transaction Date04/04/2025 Shares5,000 Price$16.46 Shared Following13,194,210 OwshD
TitleCommon Stock Transaction Date04/04/2025 Shares0 Price$0.00 Shared Following13,194,210 OwshI
TitleCommon Stock Transaction Date04/07/2025 Shares126,465 Price$15.58 Shared Following13,320,675 OwshD
TitleCommon Stock Transaction Date04/07/2025 Shares0 Price$0.00 Shared Following13,320,675 OwshI
TitleCommon Stock Transaction Date04/07/2025 Shares11,589 Price$15.98 Shared Following13,332,264 OwshD
TitleCommon Stock Transaction Date04/07/2025 Shares0 Price$0.00 Shared Following13,332,264 OwshI
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
04/02/2025

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date03/31/2025 Shares22,189 Price$17.46 Shared Following12,455,264 OwshD
TitleCommon Stock Transaction Date03/31/2025 Shares0 Price$0.00 Shared Following12,455,264 OwshI
TitleCommon Stock Transaction Date04/02/2025 Shares31,780 Price$17.43 Shared Following12,487,044 OwshD
TitleCommon Stock Transaction Date04/02/2025 Shares0 Price$0.00 Shared Following12,487,044 OwshI
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
03/28/2025

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date03/26/2025 Shares101,633 Price$17.50 Shared Following12,421,324 OwshD
TitleCommon Stock Transaction Date03/26/2025 Shares0 Price$0.00 Shared Following12,421,324 OwshI
TitleCommon Stock Transaction Date03/27/2025 Shares3,620 Price$17.48 Shared Following12,424,944 OwshD
TitleCommon Stock Transaction Date03/27/2025 Shares0 Price$0.00 Shared Following12,424,944 OwshI
TitleCommon Stock Transaction Date03/28/2025 Shares8,131 Price$17.47 Shared Following12,433,075 OwshD
TitleCommon Stock Transaction Date03/28/2025 Shares0 Price$0.00 Shared Following12,433,075 OwshI
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
03/25/2025

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date03/21/2025 Shares102,400 Price$17.74 Shared Following12,285,395 OwshD
TitleCommon Stock Transaction Date03/21/2025 Shares0 Price$0.00 Shared Following12,285,395 OwshI
TitleCommon Stock Transaction Date03/25/2025 Shares34,296 Price$17.44 Shared Following12,319,691 OwshD
TitleCommon Stock Transaction Date03/25/2025 Shares0 Price$0.00 Shared Following12,319,691 OwshI
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
03/20/2025

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date03/18/2025 Shares58,734 Price$17.41 Shared Following12,039,885 OwshD
TitleCommon Stock Transaction Date03/18/2025 Shares0 Price$0.00 Shared Following12,039,885 OwshI
TitleCommon Stock Transaction Date03/18/2025 Shares34,390 Price$17.76 Shared Following12,074,275 OwshD
TitleCommon Stock Transaction Date03/18/2025 Shares0 Price$0.00 Shared Following12,074,275 OwshI
TitleCommon Stock Transaction Date03/20/2025 Shares108,720 Price$17.96 Shared Following12,182,995 OwshD
TitleCommon Stock Transaction Date03/20/2025 Shares0 Price$0.00 Shared Following12,182,995 OwshI
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
03/06/2025

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date03/04/2025 Shares17,528 Price$17.02 Shared Following11,970,726 OwshD
TitleCommon Stock Transaction Date03/04/2025 Shares0 Price$0.00 Shared Following11,970,726 OwshI
TitleCommon Stock Transaction Date03/04/2025 Shares10,425 Price$17.61 Shared Following11,981,151 OwshD
TitleCommon Stock Transaction Date03/04/2025 Shares0 Price$0.00 Shared Following11,981,151 OwshI
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
03/03/2025

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date02/27/2025 Shares114,713 Price$16.44 Shared Following11,404,150 OwshD
TitleCommon Stock Transaction Date02/27/2025 Shares0 Price$0.00 Shared Following11,404,150 OwshI
TitleCommon Stock Transaction Date02/27/2025 Shares144,603 Price$17.52 Shared Following11,548,753 OwshD
TitleCommon Stock Transaction Date02/27/2025 Shares0 Price$0.00 Shared Following11,548,753 OwshI
TitleCommon Stock Transaction Date02/28/2025 Shares153,142 Price$17.45 Shared Following11,701,895 OwshD
TitleCommon Stock Transaction Date02/28/2025 Shares0 Price$0.00 Shared Following11,701,895 OwshI
TitleCommon Stock Transaction Date02/28/2025 Shares1,800 Price$17.99 Shared Following11,703,695 OwshD
TitleCommon Stock Transaction Date02/28/2025 Shares0 Price$0.00 Shared Following11,703,695 OwshI
TitleCommon Stock Transaction Date03/03/2025 Shares230,529 Price$16.57 Shared Following11,934,224 OwshD
TitleCommon Stock Transaction Date03/03/2025 Shares0 Price$0.00 Shared Following11,934,224 OwshI
TitleCommon Stock Transaction Date03/03/2025 Shares18,974 Price$17.43 Shared Following11,953,198 OwshD
TitleCommon Stock Transaction Date03/03/2025 Shares0 Price$0.00 Shared Following11,953,198 OwshI
Adviser BROADWOOD CAPITAL INC Type 13F-HR Submitted
02/14/2025
Stock Ticker Stock Name $ Position % Position $ Change # Shares # Change
Stock Ticker61174X109 Stock NameMONSTER BEVERAGE CORP NEW $ Position$436.0 b % Position34.00 % $ Change1.00 % # Shares8,295,690 # Change0.00 %
Stock Ticker05464C101 Stock NameAXON ENTERPRISE INC $ Position$429.3 b % Position34.00 % $ Change41.00 % # Shares722,421 # Change-5.00 %
Stock Ticker852312305 Stock NameSTAAR SURGICAL CO $ Position$263.5 b % Position21.00 % $ Change-34.00 % # Shares10,848,631 # Change1.00 %
Stock Ticker464287655 Stock NameISHARES TR $ Position$114.9 b % Position9.00 % $ Change0.00 % # Shares519,920 # Change0.00 %
Stock Ticker53566P109 Stock NameLINEAGE CELL THERAPEUTICS IN $ Position$20.9 b % Position2.00 % $ Change-44.00 % # Shares41,666,255 # Change0.00 %
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
02/14/2025

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date02/12/2025 Shares82,730 Price$13.99 Shared Following10,960,737 OwshD
TitleCommon Stock Transaction Date02/12/2025 Shares0 Price$0.00 Shared Following10,960,737 OwshI
TitleCommon Stock Transaction Date02/12/2025 Shares72,017 Price$14.90 Shared Following11,032,754 OwshD
TitleCommon Stock Transaction Date02/12/2025 Shares0 Price$0.00 Shared Following11,032,754 OwshI
TitleCommon Stock Transaction Date02/12/2025 Shares104,869 Price$15.77 Shared Following11,137,623 OwshD
TitleCommon Stock Transaction Date02/12/2025 Shares0 Price$0.00 Shared Following11,137,623 OwshI
TitleCommon Stock Transaction Date02/13/2025 Shares115,282 Price$15.84 Shared Following11,252,905 OwshD
TitleCommon Stock Transaction Date02/13/2025 Shares0 Price$0.00 Shared Following11,252,905 OwshI
TitleCommon Stock Transaction Date02/14/2025 Shares36,532 Price$15.49 Shared Following11,289,437 OwshD
TitleCommon Stock Transaction Date02/14/2025 Shares0 Price$0.00 Shared Following11,289,437 OwshI
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
02/10/2025

Oncocyte Corp
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock, no par value Transaction Date02/06/2025 Shares660,207 Price$2.05 Shared Following6,904,612 OwshD
TitleCommon Stock, no par value Transaction Date02/06/2025 Shares0 Price$0.00 Shared Following6,904,612 OwshI
TitleCommon Stock, no par value Transaction Date02/06/2025 Shares4,505,488 Price$2.05 Shared Following11,410,100 OwshD
TitleCommon Stock, no par value Transaction Date02/06/2025 Shares0 Price$0.00 Shared Following11,410,100 OwshI
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
01/28/2025

Lineage Cell Therapeutics, Inc.
Director

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Shares Transaction Date01/27/2025 Shares7,894,737 Price$0.76 Shared Following49,560,992 OwshD
TitleCommon Shares Transaction Date01/27/2025 Shares0 Price$0.00 Shared Following49,560,992 OwshI

Derivatives

Title Conv. Ex. Price Transaction Date Sec. Title Shares Price Shared Fol. Owsh.
TitleCommon Warrant Conv. Ex. Price$0.91 Transaction Date01/27/2025 Sec. TitleCommon Shares Shares7,894,737 Price$0.00 Shared Fol.7,894,737 Owsh.
TitleCommon Warrant Conv. Ex. Price$0.91 Transaction Date01/27/2025 Sec. TitleCommon Shares Shares0 Price$0.00 Shared Fol.7,894,737 Owsh.See Footnote
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
01/16/2025

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date01/14/2025 Shares21,155 Price$21.46 Shared Following10,869,786 OwshD
TitleCommon Stock Transaction Date01/14/2025 Shares0 Price$0.00 Shared Following10,869,786 OwshI
TitleCommon Stock Transaction Date01/16/2025 Shares8,221 Price$21.50 Shared Following10,878,007 OwshD
TitleCommon Stock Transaction Date01/16/2025 Shares0 Price$0.00 Shared Following10,878,007 OwshI
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
12/18/2024

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date12/16/2024 Shares46,220 Price$24.15 Shared Following10,814,651 OwshD
TitleCommon Stock Transaction Date12/16/2024 Shares0 Price$0.00 Shared Following10,814,651 OwshI
TitleCommon Stock Transaction Date12/16/2024 Shares7,280 Price$24.83 Shared Following10,821,931 OwshD
TitleCommon Stock Transaction Date12/16/2024 Shares0 Price$0.00 Shared Following10,821,931 OwshI
TitleCommon Stock Transaction Date12/17/2024 Shares3,700 Price$24.58 Shared Following10,825,631 OwshD
TitleCommon Stock Transaction Date12/17/2024 Shares0 Price$0.00 Shared Following10,825,631 OwshI
TitleCommon Stock Transaction Date12/18/2024 Shares23,000 Price$24.33 Shared Following10,848,631 OwshD
TitleCommon Stock Transaction Date12/18/2024 Shares0 Price$0.00 Shared Following10,848,631 OwshI
Adviser BROADWOOD CAPITAL INC Type 13F-HR Submitted
11/14/2024
Stock Ticker Stock Name $ Position % Position $ Change # Shares # Change
Stock Ticker61174X109 Stock NameMONSTER BEVERAGE CORP NEW $ Position$432.8 b % Position33.00 % $ Change4.00 % # Shares8,295,690 # Change0.00 %
Stock Ticker852312305 Stock NameSTAAR SURGICAL CO $ Position$400.0 b % Position31.00 % $ Change-22.00 % # Shares10,768,431 # Change0.00 %
Stock Ticker05464C101 Stock NameAXON ENTERPRISE INC $ Position$303.7 b % Position23.00 % $ Change36.00 % # Shares760,062 # Change0.00 %
Stock Ticker464287655 Stock NameISHARES TR $ Position$114.8 b % Position9.00 % $ Change0.00 % # Shares519,920 # Change-8.00 %
Stock Ticker53566P109 Stock NameLINEAGE CELL THERAPEUTICS IN $ Position$37.7 b % Position3.00 % $ Change-9.00 % # Shares41,666,255 # Change0.00 %
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
10/04/2024

Oncocyte Corp
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock, no par value Transaction Date10/02/2024 Shares1,315,339 Price$2.95 Shared Following6,244,405 OwshD
TitleCommon Stock, no par value Transaction Date10/02/2024 Shares0 Price$0.00 Shared Following6,244,405 OwshI
Adviser BROADWOOD CAPITAL INC Type N-PX Submitted
08/30/2024
Adviser BROADWOOD CAPITAL INC Type 13F-HR Submitted
08/14/2024
Stock Ticker Stock Name $ Position % Position $ Change # Shares # Change
Stock Ticker852312305 Stock NameSTAAR SURGICAL CO $ Position$512.7 b % Position39.00 % $ Change24.00 % # Shares10,768,431 # Change0.00 %
Stock Ticker61174X109 Stock NameMONSTER BEVERAGE CORP NEW $ Position$414.4 b % Position31.00 % $ Change-16.00 % # Shares8,295,690 # Change0.00 %
Stock Ticker05464C101 Stock NameAXON ENTERPRISE INC $ Position$223.6 b % Position17.00 % $ Change-6.00 % # Shares760,062 # Change0.00 %
Stock Ticker464287655 Stock NameISHARES TR $ Position$114.8 b % Position9.00 % $ Change-4.00 % # Shares566,000 # Change0.00 %
Stock Ticker53566P109 Stock NameLINEAGE CELL THERAPEUTICS IN $ Position$41.6 b % Position3.00 % $ Change-33.00 % # Shares41,666,255 # Change0.00 %
Adviser BROADWOOD CAPITAL INC Type 13F-HR Submitted
05/15/2024
Stock Ticker Stock Name $ Position % Position $ Change # Shares # Change
Stock Ticker61174X109 Stock NameMONSTER BEVERAGE CORP NEW $ Position$491.8 b % Position37.00 % $ Change1.00 % # Shares8,295,690 # Change-2.00 %
Stock Ticker852312305 Stock NameSTAAR SURGICAL CO $ Position$412.2 b % Position31.00 % $ Change25.00 % # Shares10,768,430 # Change2.00 %
Stock Ticker05464C101 Stock NameAXON ENTERPRISE INC $ Position$237.8 b % Position18.00 % $ Change21.00 % # Shares760,062 # Change0.00 %
Stock Ticker464287655 Stock NameISHARES TR $ Position$119.0 b % Position9.00 % $ Change5.00 % # Shares566,000 # Change0.00 %
Stock Ticker53566P109 Stock NameLINEAGE CELL THERAPEUTICS IN $ Position$61.7 b % Position5.00 % $ Change62.00 % # Shares41,666,255 # Change19.00 %
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
05/13/2024

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date05/09/2024 Shares1 Price$42.56 Shared Following10,768,431 OwshD
TitleCommon Stock Transaction Date05/09/2024 Shares0 Price$0.00 Shared Following10,768,431 OwshI
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
04/15/2024

Oncocyte Corp
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock, no par value Transaction Date04/11/2024 Shares2,420,000 Price$2.92 Shared Following4,929,066 OwshD
TitleCommon Stock, no par value Transaction Date04/11/2024 Shares0 Price$0.00 Shared Following4,929,066 OwshI

Derivatives

Title Conv. Ex. Price Transaction Date Sec. Title Shares Price Shared Fol. Owsh.
TitleSeries A Convertible Preferred Stock Conv. Ex. Price$30.60 Transaction Date04/15/2024 Sec. TitleCommon Stock Shares2,941 Price Shared Fol.0 Owsh.
TitleSeries A Convertible Preferred Stock Conv. Ex. Price$30.60 Transaction Date04/15/2024 Sec. TitleCommon Stock Shares0 Price Shared Fol.0 Owsh.Footnote
Adviser BROADWOOD CAPITAL INC Type 13F-HR Submitted
02/14/2024
Stock Ticker Stock Name $ Position % Position $ Change # Shares # Change
Stock Ticker61174X109 Stock NameMONSTER BEVERAGE CORP NEW $ Position$489.0 b % Position42.00 % $ Change9.00 % # Shares8,488,017 # Change0.00 %
Stock Ticker852312305 Stock NameSTAAR SURGICAL CO $ Position$328.9 b % Position28.00 % $ Change-12.00 % # Shares10,537,835 # Change14.00 %
Stock Ticker05464C101 Stock NameAXON ENTERPRISE INC $ Position$196.3 b % Position17.00 % $ Change30.00 % # Shares760,062 # Change0.00 %
Stock Ticker464287655 Stock NameISHARES TR $ Position$113.6 b % Position10.00 % $ Change14.00 % # Shares566,000 # Change0.00 %
Stock Ticker53566P109 Stock NameLINEAGE CELL THERAPEUTICS IN $ Position$38.1 b % Position3.00 % $ Change-8.00 % # Shares34,935,485 # Change0.00 %
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
02/08/2024

Lineage Cell Therapeutics, Inc.
Director

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Shares Transaction Date02/06/2024 Shares6,730,770 Price$1.04 Shared Following41,666,255 OwshD
TitleCommon Shares Transaction Date02/06/2024 Shares0 Price$0.00 Shared Following41,666,255 OwshI
Adviser BROADWOOD CAPITAL INC Type 4 Submitted
01/10/2024

STAAR SURGICAL CO
10% Owner

Non-Derivatives

Title Transaction Date Shares Price Shared Following Owsh.
TitleCommon Stock Transaction Date01/08/2024 Shares4,042 Price$27.11 Shared Following10,768,430 OwshD
TitleCommon Stock Transaction Date01/08/2024 Shares0 Price$0.00 Shared Following10,768,430 OwshI

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